Why AML and KYC are difficult for Broker-Dealers
Broker-dealers face pressure to manage thousands of client relationships while meeting regulatory demands for accurate KYC and timely AML reviews. Legacy software struggles to keep up, causing delays, false positives, and audit risks.
How Broker-Dealers use Steward
Digitised, configurable onboarding workflows for retail and institutional clients allow you to reduce time to account opening while maintaining regulatory control.
Integrated sanctions screening, PEP identification, and adverse media monitoring using AI in AML to reduce noise and surface genuinely relevant risk.
Automated AML risk scoring synthesises KYC data, screening outcomes, geography, and client behaviour into a single, defensible risk profile.
AI-powered document analysis and relationship mapping streamline KYC as a service and Know Your Business checks, even across complex ownership structures.
Continuous rescreening and intelligent triggers ensure client records stay current to support FINRA AML rules, FATF guidance, and internal risk frameworks.
Typical Broker Dealer needs
Trusted by service providers supporting complex investor risk
Document-first onboarding that removes blockers, even for complex structures.
“Steward’s document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures.”
Less review time, stronger audit defensibility, higher-value work.
“Steward cuts manual review time, improves decision consistency, and strengthens audit defensibility, freeing compliance teams to focus on higher-value work.”
One fund became our entire portfolio on Steward.
“What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team.”
Document-first onboarding that removes blockers, even for complex structures.
“Steward’s document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures.”
Less review time, stronger audit defensibility, higher-value work.
“Steward cuts manual review time, improves decision consistency, and strengthens audit defensibility, freeing compliance teams to focus on higher-value work.”
One fund became our entire portfolio on Steward.
“What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team.”
Document-first onboarding that removes blockers, even for complex structures.
“Steward’s document-first onboarding quickly extracts required information, flagging gaps, and removing blockers, even for complex structures.”
Less review time, stronger audit defensibility, higher-value work.
“Steward cuts manual review time, improves decision consistency, and strengthens audit defensibility, freeing compliance teams to focus on higher-value work.”
One fund became our entire portfolio on Steward.
“What started with one fund led us to move our entire portfolio to Steward, delivering seamless, AI-powered onboarding with a highly responsive team.”
Getting started
Extend your services with these optional add-ons
Start onboarding your first client in less than 24 hours, with compliance built in from day one.
Implement your own compliance standards and processes, tailored to your compliance program.
Frequently Asked Questions
Learn how Steward supports onboarding across funds, entities, and global investor bases. Can't find what you're looking for? Chat with our team.
Steward supports passports, national ID cards, and other commonly accepted identity documents, validated according to jurisdictional requirements.